Who You Are:
The Chief Compliance Officer of the Swap Dealer will be responsible for establishing, maintaining and developing Galaxy’s swap dealer compliance program for CFTC swap dealer activities
The swap dealer is a direct subsidiary of Galaxy Digital L
P
and sits within the sales and trading team
What You’ll Do:
- Be responsible for Galaxy’s CFTC swap dealer compliance program, covering swap activities in digital assets
- Manage the swap dealer team with advisory coverage of swap dealer including sales and trading activity in the U
S
office, as well as the global impact of the relevant U
S
regulations
- Evaluate new products, programs, services and business initiatives to ensure compliance issues are identified and addressed
- Serve as a point of contact and manage relationships with the regulators ( the NFA) with regards to swap dealer examinations, inquiries, and issues
- Prepare the CFTC annual report that contains a description of the swap dealer’s compliance with the applicable regulations
- Identify, investigate and remediate weaknesses in relevant policies, procedures, systems and training
- Laisse with other teams within the swap dealer, such as Legal, Finance, Risk, Operations, and IT to ensure compliance with applicable requirements
What We’re Looking For:
- A minimum of 7 years of legal or compliance experience/background preferably with a U
S
sell-side firm
- Strong product knowledge and regulatory experience within the OTC derivatives and swap dealer businesses
- Demonstrated experience with the implementation and execution of swap dealer compliance program at a registered swap dealer
Bonus Points:
- JD or MBA degree required; and
- Knowledge of the regulatory treatment of digital assets
What We Offer:
- Competitive base salary, bonus, and equity compensation
- Flexible Time Off (paid)
- 3% 401(k) company contribution
- Company-paid health and protective benefits for employees, partners, and other dependents
- Generous paid Parental Leave
- Free virtual coaching and counseling sessions through Ginger
- Opportunities to learn about the Crypto industry
- Free daily snacks in-office
- Smart, entrepreneurial, and fun colleagues
- Employee Resource Groups
*Benefits may vary depending on location
Apply now and join us on our mission to engineer a new economic paradigm
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